Wells Fargo Securities International Limited

• Principal Place of Business

  33 King William Street

  London

  EC4R 9AT

  UNITED KINGDOM

  Phone

  +442039428000

• Complaints Contact

  33 King William Street

  London

  EC4R 9AT

  UNITED KINGDOM

  Phone

  +442039428000

• Investment Advice (no pensions)

  For Eligible Counterparty, Professional, Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Unit, Warrant

  Show 1 limitation Hide limitations

  • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

• Authorised to Operate

  Show 1 limitation Hide limitations

  • · The firm can only agree to carry on the regulated activities specified in this Notice.

• Arranges Investments

  For Eligible Counterparty, Professional, Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Unit, Warrant

  Show 1 limitation Hide limitations

  • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

• Stockbroking

  For Eligible Counterparty, Professional, Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Unit, Warrant

  Show 1 limitation Hide limitations

  • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

• Trades With You Directly

  For Eligible Counterparty, Professional, Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Unit, Warrant

  Show 1 limitation Hide limitations

  • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

• Investment Setup

  For Eligible Counterparty, Professional, Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Unit, Warrant

  Show 1 limitation Hide limitations

  • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

• Bhaskar Acharya

  IRN BXA01243

  • CF30 Customer (28 May 2008 to 4 Jul 2008)
• Blaise Girard

  IRN BXG01074

  • [FCA CF] Material risk taker (9 Dec 2019 to 1 Dec 2021)
  • [FCA CF] Client dealing (9 Dec 2019 to 1 Dec 2021)
  • CF30 Customer (25 Oct 2017 to 8 Dec 2019)
• Bob Gijsbertus Marinus Rosman

  IRN BMR01033

  • [FCA CF] Material risk taker (9 Dec 2019 to 28 Feb 2023)
  • [FCA CF] Client dealing (9 Dec 2019 to 4 May 2023)
  • CF30 Customer (7 May 2010 to 8 Dec 2019)
• Bob Luey

  IRN BXL01097

  • CF14 Risk Assessment (1 Dec 2001 to 30 Apr 2004)
• Bradley James Cooper

  IRN BXC35651

  • [FCA CF] Client dealing (since 20 Sep 2022)
• Bradley Paul Burman

  IRN BPB01020

  • CF30 Customer (1 Nov 2007 to 30 Nov 2007)
  • CF21 Investment Adviser (28 Feb 2005 to 31 Oct 2007)
• Bret Drew Marty

  IRN BDM01014

  • CF30 Customer (14 May 2015 to 8 Dec 2019)
• Brian Christopher Crotty

  IRN BXC00276

  • [FCA CF] Client dealing (since 11 Aug 2022)
  • [FCA CF] Manager of certification employee (6 Aug 2024 to 1 May 2025)
• Bryant Owens

  IRN BXO01035

  • CF29 Significant management (1 Nov 2007 to 19 Sep 2013)
  • CF30 Customer (1 Nov 2007 to 17 Nov 2016)
  • CF16 Significant Mgt (Desgntd Investment Business) (14 Oct 2005 to 31 Oct 2007)
  • CF21 Investment Adviser (2 Jun 2004 to 31 Oct 2007)
• Bryn Eiron Owen

  IRN BEO01003

  • SMF2 Chief Finance (7 Mar 2016 to 5 Jul 2019)
  • CF10a CASS Oversight function (1 Jan 2012 to 12 Dec 2014)
  • CF28 Systems and controls (1 Nov 2007 to 5 Jul 2019)
  • CF13 Finance (14 Jul 2005 to 31 Oct 2007)
  • CF1 Director (31 May 2005 to 14 Jul 2005)

No changes recorded yet.